Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stoes is a financial advisor with Cetera Investment Advisers LLC based in Gilbert, AZ. James has been in the financial industry since June 8, 2009. James is a registered investment advisor in Arizona and Texas. Previously, James worked for VOYA FINANCIAL ADVISORS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and EDWARD JONES. James is a Series 6, 7 and 66 licensed professional. James provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AZ
06/29/2023 - Present
Cetera Investment Advisers LLC (GILBERT AZ)
AZ
10/21/2019 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (GILBERT AZ)
AZ
05/16/2016 - 10/01/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GILBERT AZ)
AZ
01/17/2012 - 05/18/2016
EDWARD JONES (GILBERT AZ)
AZ
04/20/2009 - 12/16/2011
EQUITRUST MARKETING SERVICES, LLC (MESA AZ)
BOTH
Issued 02/25/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/16/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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